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Compliance Analyst

Fidelity Investments Careers
Boston, MA Full Time
POSTED ON 9/15/2021 CLOSED ON 10/14/2021

Job Posting for Compliance Analyst at Fidelity Investments Careers

Job Description:

Compliance Analyst: Ethics Office, Strategic Operations and Technology

The Ethics Office works closely with business, compliance, and legal partners to ensure ongoing regulatory compliance and protection of Fidelity’s brand and reputation. We are passionate about the associate experience and committed to providing sound and consistent guidance that effectively mitigates conflicts of interest.

A critical component of the Ethics Office is the Personal Trading, Inside Information, and Strategic Operations team.  As a key member of this team, you will identify process improvements, monitor and supervise employee trades, and handle various compliance and policy-related requests. You will work closely with multiple business partners and apply sound judgement while answering questions related to Fidelity’s rules about owning and trading securities for personal benefit.   

The Expertise and Skills You Have

  • 3-5 years of financial services compliance, legal, trade operations or operational risk
  • BA/BS degree required
  • FINRA Series 7 and 24 licensed or obtained within the first 90-120 days after hire
  • Excel and data analysis (e.g., tools, strategies)
  • Self-starter, relationship builder, and problem solver
  • Communicates clearly, concisely and impactfully in order to influence others
  • Familiarity with, or ability to quickly understand, the legal and regulatory environment applicable to the financial services industry and Fidelity internal policies
  • Ability to multi-task and balance day-to-day responsibilities with longer-term projects within a fast-paced and challenging environment
  • Approaches work with an open mind and sense of creativity; able to challenge current practices and recommend improvements to drive positive change

The Value You Deliver

  • Execute day-to-day operations related to the monitoring and oversight of employee trading and questions related to Fidelity’s Code of Ethics for Personal Investing and Rules for Broker-Dealer Employees
  • Build and streamline reporting metrics, trend analysis, and key performance/key risk indicators
  • Regular review and technology maintenance of pre- and post-trading modules
  • Ongoing training and assistance with personal trading alert queue management
  • Apply sound judgment to recognize issues, assess risks, and identify items requiring escalation
  • Develop and maintain compliance policies, procedures, and controls related to trade monitoring and inside information programs
  • Encourage a culture of diversity, inclusion, ownership, and empowerment
  • Improve the associate experience while maintaining a strong culture of compliance

Certifications:



Company Overview

At Fidelity Investments, our customers are at the heart of everything we do. As a privately held company with a rich 75-year history, our mission has remained the same since our founding: to strengthen the financial well-being of our clients. We help people invest and plan for their future. We assist companies and non-profit organizations in delivering benefits to their employees. And we provide institutions and independent advisors with investment and technology solutions to help invest their own clients’ money.


Join Us

At Fidelity, you’ll find endless opportunities to build a meaningful career that positively impacts peoples’ lives, including yours. You can take advantage of flexible benefits that support you through every stage of your career, empowering you to thrive at work and at home. And you don’t need a finance background to succeed at Fidelity—we offer a range of opportunities for learning and growth so you can build the career you’ve always imagined. We welcome associates from different backgrounds and with different perspectives to help us innovate and make a difference for our customers and our communities.

We invite you to Find Your Fidelity at fidelitycareers.com.


Fidelity Investments is an equal opportunity employer. We believe that the most effective way to attract, develop and retain a diverse workforce is to build an enduring culture of inclusion and belonging.

Fidelity will reasonably accommodate applicants with disabilities who need adjustments to participate in the application or interview process. To initiate a request for an accommodation, contact the HR Leave of Absence/Accommodation Team by sending an email to accommodations @fmr.com, or by calling 800-835-5099, prompt 2, option 2.

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Salary.com Estimation for Compliance Analyst in Boston, MA
$75,023 to $100,251
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